PERRY OWENS SMITH

PERRY OWENS SMITH is currently employed as a Broker and/or Investment Adviser at E*TRADE SECURITIES LLC located at 4005 WINDWARD PLAZA DRIVE, ALPHARETTA, GA, 30005.

PERRY OWENS SMITH has worked at E*TRADE SECURITIES LLC since December 17, 2013

Disclosure History

PERRY OWENS SMITH has 1 Disclosure Event(s).

Date: June 12, 2013
Category: Judgment / Lien
Judgment/Lien Amount: $14,629.53
Judgment/Lien Type: Civil
Broker Comment: DEFAULT JUDGMENT RENDERED ON 07/23/2013 IN THE AMOUNT OF 14,578.03

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All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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